FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066345701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher J. Passero (Respondent) Investment Company and Variable Contracts Products Representative and General Securities Representative CRD No. 2517681 Pursuant to FINRA Rule 9216, Respondent Christopher J. Passero submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061956701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Patrick Nicholas Teutonico (Respondent) General Securities Representative CRD No. 2875434 Pursuant to FINRA Rule 9216, Respondent Patrick Nicholas Teutonico submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,